FCA Compliance Consultancy Services

The Need For FCA Compliance Consultancy: Global financial services sector faces relentless scrutiny and oversight. Missteps are costly, both financially and reputationally. Emerging regulations such as AIFMD, MiFID II, GDPR, SMCR, and PSD2 impact firms on both local and global scales. Vigilance in regulatory compliance and training is essential for firms to maintain a competitive edge in a dynamic landscape.

Compliance Consultant stands as a trusted, innovative regulatory advisor. We offer a spectrum of compliance consultancy services to banks, private equity firms, wealth managers, corporate finance entities, and broker-dealers.

Our proficient team delivers both retained and ad-hoc regulatory compliance services, providing steadfast support throughout the business lifecycle in markets including the UK and EU. Our consultants possess extensive expertise in setting up firms, facilitating initial authorisation or registration, and delivering ongoing compliance services to navigate the evolving regulatory environment. We bring nearly twenty years of experience in financial services compliance consultancy.

FCA Compliance: Start-Up Services

– Compliance advice on start-up issues
– FCA authorisation support, including FCA, SEC, and other regulatory bodies
– FCA regulatory service for advisers/arrangers
– Compliance infrastructure design, policies, and procedures
– Capital and liquidity forecasting (ICAAP, ILAA, etc.)

Ongoing FCA Compliance Support and Advisory Services

– Retained/ad-hoc compliance and regulatory services in the UK
– Compliance infrastructure design, policies, and procedures
– Thematic compliance reviews
– Annual and ongoing reviews of compliance arrangements, systems, and controls
– Mock regulatory audits, pre-enforcement, and supervisory reviews
– Support during on-site regulator visits, examinations, and enforcement investigations
– Cybersecurity analyses, policies, procedures, and assessments
– Financial and regulatory filings/reporting
– Planning for regulatory changes such as the FCA SMCR (Senior Managers and Certification Regime)
– Regulatory update notifications
– Employee training on regulatory matters
– Secondments to compliance and regulatory roles

Our ad-hoc FCA Compliance services are charged based on time spent, with hourly rates as follows:

– Director: £185 per hour
– Associate Director: £155per hour
– Managing Consultant: £133 per hour
– Senior Consultant: £106 per hour
– Consultant: £75 per hour

STOP Being A Very Small Account To A Large Consultancy

Deal Directly With Our Senior Management!

We also offer fixed-rate deals to help you budget effectively. We guarantee to beat any like-for-like quote by at least 5%, ensuring cost-effectiveness for typical consultancy projects with clear outcomes.

Client Testimonials

“We worked very closely with Lee and his team. From start to finish, we felt like we were in very safe hands. Their knowledge and experience throughout the process made life easy and smooth for us. I would recommend Lee to anyone with any compliance-related issues.” – MH

“Compliance Consultant provided us with a smooth, fast, and professional service, clarifying what was needed at every step with prompt and accurate communication throughout. Would highly recommend Lee and Compliance Consultant.” – EC

Download our brochure by clicking on the picture below.

Or Call Us Today On 

0800 689 0190 UK,

or International +44 (0)208 243 8620

Members of the APCC (Association of Professional Compliance Consultants)